Jeffrey S. Williams

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CRD#: 2821934

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Jeffrey Scott Williams, who also goes by Jeffrey Scott Williams, was a registered financial professional .

Jeffrey is a previously registered financial professional and started their career in finance in 1996. Jeffrey had worked at 7 firms and has passed the Series 63, Series 65, Series 66, Series 7TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jeffrey Scott Williams

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1)JW Legal Support Services LLC noninv McKinney TX Owner 5/2011 10noninv/inv Provide mobile notary services and same day delivery services.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 23, 2024 - August 20, 2024

FISHER INVESTMENTS

RIA

CRD#: 107342

PLANO, TX

Past

December 5, 2023 - April 15, 2024

MWA FINANCIAL SERVICES INC.

CRD#: 112630

Dallas, TX

Past

November 30, 2023 - April 15, 2024

MWA FINANCIAL SERVICES INC.

RIA

CRD#: 112630

Dallas, TX

Past

November 2, 2015 - December 6, 2023

LITTLE WOODS CAPITAL ADVISORS, LLC.

RIA

CRD#: 171356

FAIRVIEW, TX

Past

January 4, 2011 - April 7, 2011

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTLAKE, TX

Past

August 5, 2009 - September 16, 2009

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

RICHARDSON, TX

Past

July 30, 2009 - September 16, 2009

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

RIA

CRD#: 13609

RICHARDSON, TX

Past

April 16, 2007 - September 4, 2007

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

WESTLAKE, TX

Past

December 20, 2005 - September 4, 2007

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTLAKE, TX

Past

December 9, 1996 - December 31, 1997

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FISHER INVESTMENTS

FISHER ASSET MANAGEMENT, LLC | FISHER INVESTMENTS,INC. | FISHER INVESTMENTS

CRD#: 107342 / SEC#: 801-29362

RIA

Registered Investment Advisory firm - (3/26/1987 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/13/2023

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/17/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/9/2007

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/5/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/6/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/19/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/6/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FISHER INVESTMENTS

FISHER ASSET MANAGEMENT, LLC | FISHER INVESTMENTS,INC. | FISHER INVESTMENTS

CRD#: 107342 / SEC#: 801-29362

RIA

Registered Investment Advisory firm - (3/26/1987 Approved)

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Contact information

Main Address

6500 International Pkwy Ste 2050, Plano, TX 75093-8222

Mailing Address

Phone number

(800) 851-8845

Established

Firm type

Fiscal year end

# of Employees

4,065

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PRIVATE CLIENT (9/10/2025)

CANADA PRIVATE CLIENT (2/5/2025)

UNITED KINGDOM PRIVATE CLIENT (2/5/2025)

INSTITUTIONAL (2/5/2025)

Regulatory assets under management

Total Number of Accounts	360,116
AUM (Assets Under Management)	$ 298,729,428,900

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Jeffrey S. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MWA FINANCIAL SERVICES INC.

MWA FINANCIAL SERVICES INC.

LITTLE WOODS CAPITAL ADVISORS, LLC.

FIDELITY BROKERAGE SERVICES LLC

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

PFS INVESTMENTS INC.

Primary Firm SEC Registration

FISHER INVESTMENTS

State Registrations and Notice Filings

Exams

Series 63

Date: 12/13/2023

Series 65

Date: 10/17/2015

Series 66

Date: 4/9/2007

Series 7TO

Date: 12/5/2023

SIE

Date: 10/6/2023

Series 7

Date: 12/19/2005

Series 6

Date: 12/6/1996

Current Firm

FISHER INVESTMENTS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FISHER INVESTMENTS

TRUST BUT VERIFY

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